JB
John T. Brogdon
Some features on this profile are disabled
CRD#: 1450806
JB
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
John Treadway Brogdon JR, who also goes by Treadway Brogdon Jr, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1986. John had worked at 6 firms and has passed the Series 65, Series 63, Series 79TO, SIE, Series 7, Series 6, Series 24 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Treadway Brogdon Jr
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1) John Brogdon DBA Brogdon Financial Solutions. Investment related. Address: 10205 Westheimer Rd., Suite 500, Houston, TX 77042. Nature of Business: Doing business using the DBA; all security business goes through Calton; all RIA business goes through IMS Financial Advisors. Position/Title/Relationship: Owner. Start Date: 04/12/2007. Hours per month: 160. Hours per month during Securities trading hours: 160. Duties/Responsibilities: Registered representative through Calton using approved products. Investment Advisor Representative through IMS Financial Advisors using approved products. 2) Trusted Advisors, Vistage. Non-Investment related. Address: 402 Rancho Circle, Friendswood, TX 77546. Nature of Business: Networking group. Position/Title/Relationship: Group Member. Start Date: 02/2012. Hours per month: 405. Hours per month during Securities trading hours: 3%. Duties/Responsibilities: Attendance at the discussion group is the primary duty. 3) Westpark Wealth Advisors, Inc. Investment related. Address: 13111 Westheimer Rd., Suite 475, Houston, TX 77077. Nature of Business: Fee bases investment advice for clients. Position/Title/Relationship: IAR. Start Date: 2018. Hours per month: 40 Hours per month during Securities trading hours: 40. Duties/Responsibilities: Develop investment strategies for clients that correspond to each client's risk/return profile. I recommend institutional money managers and work with the managers to develop an asset allocation. When the client accepts the recommendation, I assist the client in the process of establishing the account. Then I monitor the account to the client on a periodic basis. From time to time, the client's needs and financial circumstances change and that warrant a portfolio review and potentially a change in allocation. 4) The Professional Resource. Non-Investment related. Address: 2911 Fontana Dr., Houston, TX 77043. Nature of Business: Informal networking group. Position/Title/Relationship: Founding Participant. Start Date: 2004. Hours per month: 3. Hours per month during Securities trading hours: 3. Duties/Responsibilities: I remind the members of the monthly meeting via email. I chair the meeting each month. I meet one on one with another member for lunch once a month. There are no products and services offered through this organization. It is strictly networking and referral. 5) Financial Independence Group, Is Not Investment Related, Life insurance, Broker ,2020-01-01,1 hour per month, 0 hours per month during trading hours, Commission Compensation, Sale of term and UL insurance. 6) Jackson National Life Insurance Co. Is Not Investment Related, Life insurance, Broker, 1990-01-02,0 hours per month, 0 hours per month during trading hours, Commission Compensation, Broker 7) Jackson National Life Insurance Co. Noninvestment-related. 2911 Fontana Dr. Houston TX, 77043 United States. Nature of Business: Renewal commissions for term insurance. Title: Agent. Start Date: 1990. Hours Per Month: 0. Duties: Broker.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Past
November 13, 2017 - March 6, 2025
CALTON & ASSOCIATES, INC.
BD
CRD#: 20999
TAMPA, FL
Past
January 23, 2008 - March 10, 2025
WESTPARK WEALTH ADVISORS, INC.
RIA
CRD#: 130914
Houston, TX
Past
January 23, 2008 - November 9, 2017
IMS SECURITIES, INC.
BD
CRD#: 35567
HOUSTON, TX
Past
February 5, 2007 - October 1, 2007
WEALTH DEVELOPMENT STRATEGIES INVESTMENT ADVISORY, INC.
RIA
CRD#: 119127
HOUSTON, TX
Past
January 13, 2003 - December 31, 2005
WEALTH DEVELOPMENT STRATEGIES INVESTMENT ADVISORY, INC.
RIA
CRD#: 119127
HOUSTON, TX
Past
December 13, 1990 - January 29, 2008
1717 CAPITAL MANAGEMENT COMPANY
RIA
CRD#: 4082
HOUSTON, TX
Past
December 10, 1990 - January 29, 2008
1717 CAPITAL MANAGEMENT COMPANY
BD
CRD#: 4082
HOUSTON, TX
Past
March 11, 1986 - December 24, 1990
BERKSHIRE EQUITY SALES, INC.
BD
CRD#: 87
PITTSFIELD, MA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
C&
CALTON & ASSOCIATES, INC.
CALTON | IEP FINANCIAL | CALTON & ASSOCIATES, INC.
CRD#: 20999 / SEC#: 801-70036, 8-38635
RIA
Registered Investment Advisory firm - SEC (4/7/2009 Approved)California
Registered Investment Advisory firm - SEC (4/13/2009 Terminated)Colorado
Registered Investment Advisory firm - SEC (4/20/2009 Terminated)Delaware
Registered Investment Advisory firm - SEC (4/23/2009 Terminated)Florida
Registered Investment Advisory firm - SEC (4/9/2009 Terminated)Georgia
Registered Investment Advisory firm - SEC (4/9/2009 Terminated)Kansas
Registered Investment Advisory firm - SEC (4/9/2009 Terminated)Kentucky
Registered Investment Advisory firm - SEC (4/14/2009 Terminated)Michigan
Registered Investment Advisory firm - SEC (5/7/2009 Terminated)Mississippi
Registered Investment Advisory firm - SEC (4/9/2009 Terminated)Missouri
Registered Investment Advisory firm - SEC (4/9/2009 Terminated)Montana
Registered Investment Advisory firm - SEC (4/9/2009 Terminated)Nebraska
Registered Investment Advisory firm - SEC (4/17/2009 Terminated)Nevada
Registered Investment Advisory firm - SEC (4/9/2009 Terminated)New Jersey
Registered Investment Advisory firm - SEC (4/14/2009 Terminated)North Carolina
Registered Investment Advisory firm - SEC (4/9/2009 Terminated)Rhode Island
Registered Investment Advisory firm - SEC (4/9/2009 Terminated)Tennessee
Registered Investment Advisory firm - SEC (5/9/2009 Terminated)Texas
Registered Investment Advisory firm - SEC (4/7/2009 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (4/9/2009 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Current Firm
C&
CALTON & ASSOCIATES, INC.
CALTON | IEP FINANCIAL | CALTON & ASSOCIATES, INC.
CRD#: 20999 / SEC#: 801-70036, 8-38635
RIA
Registered Investment Advisory firm - SEC (4/7/2009 Approved)California
Registered Investment Advisory firm - SEC (4/13/2009 Terminated)Colorado
Registered Investment Advisory firm - SEC (4/20/2009 Terminated)Delaware
Registered Investment Advisory firm - SEC (4/23/2009 Terminated)Florida
Registered Investment Advisory firm - SEC (4/9/2009 Terminated)Georgia
Registered Investment Advisory firm - SEC (4/9/2009 Terminated)Kansas
Registered Investment Advisory firm - SEC (4/9/2009 Terminated)Kentucky
Registered Investment Advisory firm - SEC (4/14/2009 Terminated)Michigan
Registered Investment Advisory firm - SEC (5/7/2009 Terminated)Mississippi
Registered Investment Advisory firm - SEC (4/9/2009 Terminated)Missouri
Registered Investment Advisory firm - SEC (4/9/2009 Terminated)Montana
Registered Investment Advisory firm - SEC (4/9/2009 Terminated)Nebraska
Registered Investment Advisory firm - SEC (4/17/2009 Terminated)Nevada
Registered Investment Advisory firm - SEC (4/9/2009 Terminated)New Jersey
Registered Investment Advisory firm - SEC (4/14/2009 Terminated)North Carolina
Registered Investment Advisory firm - SEC (4/9/2009 Terminated)Rhode Island
Registered Investment Advisory firm - SEC (4/9/2009 Terminated)Tennessee
Registered Investment Advisory firm - SEC (5/9/2009 Terminated)Texas
Registered Investment Advisory firm - SEC (4/7/2009 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (4/9/2009 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information
Main Address
2701 N Rocky Point Drive Suite 1000, Tampa, FL 33607
Mailing Address
2701 N Rocky Point Drive Suite 1000, Tampa, FL 33607
Phone number
(813) 264-0440
Established
Florida since 09/17/1987
Firm type
Corporation
Fiscal year end
September
Firm Size
Medium
# of Employees
515
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CICCATI, RANDALL LEE | SHAREHOLDER | 1569353 |
| CICCATI, RANDALL LEE | CEO / DIRECTOR | 1569353 |
| SINGH, RAMESHWAR | DIRECTOR / SECRETARY /PRESIDENT OF ADVISORY SERVICES | 4660047 |
| SINGH, RAMESHWAR | SHAREHOLDER | 4660047 |
| CICCATI, JILL MARIE | SHAREHOLDER | |
| THE LOUIS CICCATI AND ADELINE CARMELA CICCATI REVOCABLE TRUST | SHAREHOLDER, LOUIS CICCATI AND ADELINE CARMELA CICCATI, TTEE | |
| CALTON, DEREK JAY | VICE PRESIDENT - DIRECTOR | 1192608 |
| CALTON, DWAYNE KENT | PRESIDENT - DIRECTOR | |
| CICCATI, ADELINE CARMELA | TRUSTEE OF THE LOUIS CICCATI AND ADELINE CARMELA CICCATI REVOCABLE TRUST | |
| CICCATI, AUSTIN LOUIS | SHAREHOLDER | 6351650 |
| CICCATI, CARLY MARIE | SHAREHOLDER | 6351667 |
| COLE, DAVID SCOTT | CHIEF FINANCIAL OFFICER/FINOP | 4181156 |
| RAHMOUNI IDRISSI, SAAD | CHIEF COMPLIANCE OFFICER | 4071743 |
| RICHARDSON, PAUL REID | CHIEF OPERATIONS OFFICER | 1006146 |
Regulatory assets under management
| Total Number of Accounts | 7,559 |
| AUM (Assets Under Management) | $ 1,216,021,701 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 6 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
